client registration form · 4) photocopy of pan card 5) photocopy of mapin card for address proof :...

Corporates / Partnership Firms and Others

Client Name :

DP Client ID :

Client Code :

DP Control No. :

CLIENTREGISTRATIONFORM

S.No.:

ACCOUNT OPENING REQUIREMENTS (All Sub-brokers/Branches should ensure that the supplementary agreement is also executed)All are requested to verify the identity of the client either by visiting the premises of the client(s) or by the client personally visiting the Sub-brokers/Branches. Address of the client(s) has to be verified by the Sub-brokers/Branches.

For Corporate Body1) Certified true copy of Board Resolution for person(s) authorized by the Board of Directors to act as Authorized Signatory(ies)2) Certified true copy of Memorandum & Articles of Association3) Certified true copy of correspondence & permanent address proof of the Company4) Certified true copy of PAN card of the Company5) Certified true copy of company's Bank Account proof (Cancel cheque and latest bank statement)6) List of Directors and Promoters on company letterhead7) Details with copy of PAN card, residential address proof and photo of Authorised signatory(ies), whole time directors and individual promoters holding 5%

or more in the shareholding of the comapny8) Certified true copy of Balance Sheet for the last 2 financial years. (Copy of Balance Sheet to be submitted every year)9) Copy of latest share holding pattern including list of all those holding more than 5% in share capital of the company, duly certified by the company

secretary / director(s) / MD. (Copy of updated shareholding pattern to be submitted every year)10) Net Worth Certificate of the Company duly certified by Chartered Accountant

For Partnership Firm1) Notorized & certified true copy of the Partnership Deed.2) Certified true copy of correspondence & permanent address proof of the Partnership Firm.3) Certified true copy of PAN card of the Partnership Firm4) Certified true copy of Firm's bank account details (cancelled cheque and latest bank statement)5) Self attested latest passport size colour photograph of all the partners.6) Self Attested copy of PAN card and residential address proof of all the partners7) Authority Letter in favour of partner(s) on letterhead of firm8) Certified true Copy of the balance sheet for the last 2 financial years. (Copy of Balance Sheet to be submitted every year)9) Self Attested DP Account proof (The DP account cannot be opened in the name of a partnership firm. It has to be opened in the name of the partners i.e.

joint account of partners).

For Trust1) Certified true copy of the Trust Deed and Rules.2) Certified list of all the trustees & Authorized Signatory(ies) with their Designation & Specimen Signatures.3) One self attested latest passport size coloured photograph of each of the Authorized Signatory with their Signature across the face of the Photograph.4) Address and ID proof of all the trustees.5) Certified true copy of correspondence & permanent address proof of the Trust.6) Trust's Bank Account proof clearly mention Bank Account No. Branch Name & Name of the Trust alongwith one cancelled cheque.7) PAN No. and Registration No. of the Trust (Proof require for the same).8) DP Account can be open in the name of Trust (if it is a Register or Public Trust) while incase of Unregistered or Private Trust, DP Account should be open

in the names of Trustee(s).9) Certified True copy of Board Resolution for person(s) Authorized by the Board to act as Authorized Signatory(ies).

-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------For Identity proof : (Any one of the following)1) Photocopy of Valid Passport (Page containing the date of expiry also to be attached)2) Photocopy of Voters Identity card.3) Photocopy of Valid Driving License (Page containing the date of expiry also to be attached)4) Photocopy of Pan card5) Photocopy of MAPIN Card

For Address proof : (Any one of the following) - (Provided the entire address written on the form matches with the proof)1) Photocopy of Ration card.2) Photocopy of Valid Passport (Page containing the date of expiry also to be attached) 3) Photocopy of Voters Identity card.4) Photocopy of Valid Driving License (Page containing the date of expiry also to be attached) 5) Photocopy of Telephone or Electricity bill. (Government entity only & should not be more than 2 months old)6) Photocopy of Leave-License/Purchase Agreement of the address mentioned in the form.7) Photocopy of Bank Passbook or latest Bank statement of the address mentioned in the form.8) Photocopy of Latest Flat Maintenance Bill of the address mentioned in the form.

For Bank Account Proof (any one of the following) : 1) Photocopy of cheque / Cancelled cheque having the name of Account holder where the Cheque Book is issued (compulsory in case of MICR)2) Self attested photocopy of Bank Statement / Passbook mentioned the Bank Account No.,Branch Name and Client Name with Address(Not older than 4 months)3) In case any Letter issued by the bank, MICR Code should be mentioned on the document and should be self attested by the Client

For Demat Account Proof (any one of the following) : 1) Photocopy of Client Master.2) Photocopy of the Bill paid clearly mentioned the DP ID, Beneficiary ID and the name of the Client (s).

NOTE :1. Please fill the information in CAPITAL LETTERS.2. Details like name of the branch, name of the client & address and other details of the client required to be mentioned in the form and Agreement.3. Signature are required on all pages of the agreement.4. All the details (Name & address of the client) must be filled.5. Name, Address & signature of the witness are compulsory. (Please note that 2 witness are required to sign on behalf of the client)6. Please note that if the signatures on the form & the proof provided differs, the form will be liable for rejection. In such cases the client has to get his signatures.7. All documents collected will be verified with the original and the Client will have to self attest the photocopies.8. All communications shall be sent at the Correspondence Address of the Sole / First Holder only.9. Thumb impressions & signatures other than English or Hindi or any of the any languages not contained in the 8th Schedule of Constitution of

India must be attested by Magistrate / Notary Public / Special Executive Magistrate under his/her official seal.

IMPORTANT NOTE

1. Signature of the / First Holder2. Signature of the Second Holder3. Signature of the Third Holder4. Signature of the Witness5. Signature of the Broker/DP/Any other (s)6. Signature of the Sub-Broker

Client FOR OFFICE USE ONLY:

Pre Verification by:.......................................................

A/c opened by:............................................................

Post verification by:.....................................................

Brokerage Verification by:............................................

ACKNOWLEDGMENT SLIP

I / We acknowledge receiving from Mr. / Ms. / Mrs. :

A/c opening fees : Rs. : Drawn On : Cheque No. :

Margin Cheque : Rs. : Drawn On : Cheque No. :

EXE Name : EXE Code :

Branch Name : Branch Code :

EXE Sign. & Date (with stamp) :

No. :

Note : (i) Please issue the cheque in the favour of SMC GLOBAL SECURITIES LTD.(ii) Please note that this acknowledgement does not contitute automatic acceptance of the documents and places no obligation other than the receipt of the indicated documents to SMC.

Remarks :

Moneywise. Be wise.smc

OUR MAIN BRANCHES

Toll free No. : 1800-11-0909 Customer Care No. : 91-11-30111444

! AHMEDABAD ! AMRITSAR ! BHUVNESHWAR

! COCHIN ! DURGAPUR ! FARIDABAD

! GHAZIABAD ! HYDERABAD ! JAIPUR

! KOLKATA ! MADURAI (CHENNAI) ! MUMBAI

! MYLAPORE (CHENNAI) ! NOIDA ! SILIGURI

91-79-30074884/88 91-183-6573715/16 91-674-2575854

91-484-2312282/83 91-343-3206800/01 91-95129-4072723 to 25

91-120-4126292 to 95 91-40-30780297 to 99 91-141-5101783/84

91-33-39847000 91-452-3201950 91-22-66651450 to 55

91-44-42108069 91-95120-3918707 to 14 91-353-2640363 to 65

Help desk E-mail ID : [email protected] (Online Client) Help desk E-mail ID : [email protected] (Offline Client)

IN-PERSON VERIFICATION : Details of person doing verification

Name : ___________________________________________ Employee Code : ______________________________

Signature : ____________________________________________

Date : _________________________Place : __________________________________________________________

STAMP OF SUB BROKER WITH NAME & ADDRESS

Group 2 :

Group 3 : _______________________________________________________________________________

DP Group : ______________________________________________________________________________

_______________________________________________________________________________

INDEXMANDATORY PAGE NUMBERS

(i) Know Your Client (KYC) Information 1 – 8

(ii) Application for opening Depository Account 9 – 16

(iii) Member-Client Agreement (NSE) 17 – 18

(iv) Member-Client Agreement (BSE) 19 – 20

(v) Tripartite Agreement between Stock Broker, Sub-Broker and Client (NSE) 21 – 22

(vi) Tripartite Agreement between Stock Broker, Sub-Broker and Client (BSE) 23 – 24

(vii) Combined Risk Disclosure Document for Capital Market/Cash Segment/Currency 25 – 26

(viii) Policies & Procedures 27 – 29

(ix) Member - Client Agreement (MCX Currency Derivatives) 31 – 33

NON-MANDATORY

(i) Supplementary Terms for Clients availing Online Trading Services 35 – 43

(ii) Authority Letter for availing NSE MFSS / BSE StAR MF Facility 44

(iii) Power of Attorney for smooth functioning of Trading & Demat A/c and for investment in IPO/Mutual Fund 45 – 46

(iv) Authority Letter for Electric Contract Notes and other permissions for smooth operations 47

(v) Consent and conditions for access to research analysis 48

(vi) Authority Letter for maintaining Running Account 49

(vii) Sample authority letter in favour of partner(s) & Board resolution in case of company 50

(viii) Bank Mandate to debit fees/charges through ECS 51

(v) Authorization to issue Electronic contract note and statement of funds and securities in Digital format 48

smcMONEYWISE. BE WISE .

Pin : State : Country :

City :

Correspondence Office Address:

E-mail : Fax :

Mobile : Phone(with STD Code) :


City :

Registered Office Address:

Pan No. :

Nature of Business :

Date of Commencement of Business : D D M M Y Y Y Y Date of Incorporation/Formation : D D M M Y Y Y Y

Name of Company/Firm:

CLIENT'S INFORMATION

1(1) Stamp & Sign

TYPE OF ACCOUNT (Please Tick whichever is applicable)

TrustBody Corporate CM Others (Please Specify)

E-mail : Fax :

Mobile : Phone(with STD Code) :

smc Moneywise. Be wise.

TYPE OF TRADING A/C

OFFLINE ONLINE-EXCLUSIVE ONLINE-PRIVILEGEONLINE-SELECTOFFLINE DIET

NOTE : IF ANY INFORMATION REQUIRED TO BE GIVEN DOES NOT FIT IN THE FORM, AN ANNEXURE MAY BE USED.

UCC :

CLIENT CATEGORY : OFFLINE MTFONLINE CNC MT

DP Client ID :

I / We request you to register me/us as your client and enable me/us to trade in the cash and derivatives segment of the Stock Exchange, Mumbai and National Stock Exchange of India Ltd. pursuant to the agreement entered into with you. I/We have read the Rules, Bye-Laws and Regulations of the derivatives segment as well as the cash segment of the above Exchanges and agree to abide by them. I/We give the following information:

REGD. OFFICE :11/6B, Shanti Chamber, Pusa Road,New Delhi-110005Ph : 91-11-30111000 Fax : 25754365www.smcindiaonline.comInvestor Grievances :[email protected]

TRADING SCHEMES :

SEGMENT NSE BSE

SEBI REGISTRATION NO. INB 011343937

SEBI REGISTRATION NO. INF 011343937

SEBI REGISTRATION NO. INF 011343937

SEBI REGISTRATION NO. INE 011343937

SEBI REGISTRATION NO. IN-DP-CDSL-106-2000

CASH SEBI REGISTRATION NO. INB 230771431

F&O SEBI REGISTRATION NO. INF 230771431

CM (F&O) SEBI REGISTRATION NO. INF 230771431

CURRENCY SEBI REGISTRATION NO. INE 230771431

DP

SEBI REGISTRATION NO. INE 260771431MCX CURRENCY

Date of Registration : D D M M Y Y Y Y RBI Registration No. :

Date of Registration : D D M M Y Y Y Y ROC Registration No. :

Date of Registration : D D M M Y Y Y Y SEBI Registration No. :

(ATTACH COPY)

VOTER ID CARD D D M M Y Y Y Y D D M M Y Y Y Y

RATION CARD D D M M Y Y Y Y D D M M Y Y Y Y

DRIVING LICENSE D D M M Y Y Y Y D D M M Y Y Y Y

PASSPORT D D M M Y Y Y Y D D M M Y Y Y Y

PAN CARD D D M M Y Y Y Y D D M M Y Y Y Y

PARTICULARS NUMBER DATE OF ISSUE DATE OF EXPIRY PLACE OF ISSUE

IDENTITY & ADDRESS PROOF DETAILS

(Please Specify)

Details of your pending grievances with any intermediatory.

Details of any action taken by SEBI / Stock Exchange / any authority for violation of securities law / other economic offence(including action) taken against relatives/associates

(Please Specify)

Whether registered with any other broker / sub-broker in India (If register with multiple members, provide details of all) Yes No

OTHER BROKER'S / SUB-BROKER'S DETAILS

Client Code No. (as given by the broker)

Broker's / Sub-Broker's Phone No.

Broker's / Sub-Broker's Address

Name of the exchange

If Yes, Name of the broker

DEPOSITORY ACCOUNT DETAILS (Through which transactions will generally be routed.)

Type of Depository : CDSL NSDL

DP ID :

Name of Depository :

Beneficiary Name :

Beneficiary ID :

STOCK PROFILE DETAILS

Nil < 5 Lac Rs. 5 - 25 Lac Rs. 25 - 50 Lac Rs. 50 - 1 Cr. Above 1 Crore

INVESTMENT / TRADING EXPERIENCE

No Prior Investment Experience Years in other Investment related fields Years in Equities Years in Derivatives

Residential Address : City :


1. Name Mr. / Mrs. / Ms. : F I R S T M I D D L E L A S T







NAME & ADDRESS OF PROMOTERS

2 (2) Stamp & Sign

(Please attach additional sheets if required)

Signature of the Client : Authorised Signatory with Rubber Stamp (3)

I/We declare that SEBI or any other financial sector authority has not taken any action against me / us during the last three years. I / We confirm that all the information given in the application is true and correct to the best of my knowledge and I also undertake to inform you of any changes therein immediately and hereby authorize you to verify. In case any of the above information is found to be false or untrue or misleading or misrepresenting I am aware that I may be held liable for it and you shall have the right to cancel my registration and Exchanges shall have right to debar me / us from doing business both in the Derivatives and Cash Segments of the exchanges. Also the rules and regulations of depository and depository participants pertaining to an account which are in force now have been read by me / us and we have understood the same and I / we agree to abide by and to bound by the rules as are in force from time to time for such accounts. I / We further agree that any false / misleading information given by me or suppression of any material fact will make my account liable for termination and further action. I/We further confirm and warrant that SMC has put the constituent on notice that SMC is engaged in not only client based trading but also in pro-account trading. Further, I also undertake that I am not currently employed with any other trading member and I will intimate you on my own of any change in any status. I am not a member of any exchange on which I propose to trade through you.

DECLARATION

Date : Place :

Name of the Client :

Introduced by : Employee Another Client Others

Name of Introducer :


City :

Correspondence Address :

(Please Specify)

DETAIL OF INTRODUCER

Signature of the Introducer :

E-mail :

PAN NO. :

Phone : Fax :

Beneficiary ID of the introducer : UCC :

Employee Code :

STANDING INSTRUCTIONS

I / we authorised you to receive credits automatically into my / our A/c :

Internet banking status

Yes

Yes

No

No

Pay-Out Option (Pls tick any one of the following option)

Cheque Fund Transfer Bank Draft CMS NEFT RTGS As Per Group

NOTE : Menti on Company's/Firm's/Trust's Bank Accou nt details incase of Corpor ate Body/Partnership Firm/Trust respect ively.

BANK ACCOUNT DETAILS (Through which transactions will generally be routed)

Bank Name :

Account No. : Branch :

Address :

Pin Code :

9-Digit Code Number of the Bank and Branch appearing on the MICR Cheque issued by the Bank :

(Copy of a cancelled cheque and a copy of tha passbook / bank statement / bank verification containing name of the constituent should be submitted)

Account Type : Savings Current NRE/NRO OTHERS : (Please Specify)

3

TRADING PREFERENCE

Stock Exchange on which you wish to trade: (Please tick & sign in the relevant boxes)

MCX-SX

Cash Market

Currency Derivatives

Market Segment on which you wish to trade: (Please tick & sign in the relevant boxes)

NSE (Please sign.)

(Please sign.)

(Please sign.)

(Please sign.)

(Please sign.)

(Please sign.)

BSE

ALL

Derivative Market

All

(Please sign.)

(Please sign.)

BROKERAGE STRUCTURE (Capital Market Segment)

YesStamp Duty NoJ D

YesTransaction Charges NoJ D

Yes NoOther Charges J D

Yes NoService Tax J D

Yes NoSecurity Transaction Tax J D

Percentage

Trading Account

1. Square off same day ......Each Side

2. Delivery

3. Trade to Trade

4. Flat Brokerage

Intraday

Delivery

Per Trade (In Rs.)

Order Value in Multiples (In Rs.)

Minimum PaisaPercentage

BROKERAGE STRUCTURE (F&O Segment)

Transaction Charges Yes No

Stamp Duty Yes No

Other Charges Yes No

Service Tax Yes No

Security Transaction Tax Yes No

Square off same day ...... Each Side

Square off another day

Min Per Lot Rs. Max Per Lot Rs.


Option Brokerage(on premium)

Minimum RupeesPercentage

...... Each Side

...... Each Side

I/We, _________________________________________________________________________________________________________

have read the above given information and agree to pay the same

BROKERAGE STRUCTURE (Currency Derivative)

Square off ...... Each Side


Transaction Charges Yes No

BROKERAGE APPROVAL (if required)

Name of Approving Officer :

Designation : Branch / Location :

Date :

Signature of Client

(4)

4

LATEST

PHOTOGRAPH

WITH SIGNATURE

ACROSS

THE PHOTOGRAPH

Name : Mr. / Ms. / Mrs. :

Father's / Husband's Name :

Residential Address :

Equity Stake in Company :

Pin :City :

State :

Mobile : Ph. :

Date of Birth : D D M M Y Y Y Y

UnmarriedMarital Status : Sex : Male Female Married

E-mail :

Fax : PAN NO. : MAPIN ID :

Designation :

BANK ACCOUNT DETAILS OF SOLE/FIRST HOLDER

Bank Name :


Address :

Pin Code :





DETAILS OF DIRECTORS / PARTNERS AND PERSONS AUTHORIZED TO DEAL

DATE :

PLACE :

Stamp & Sign :

Residential Status : Resident Indian NRI Other : (Please Specify)

Qualification :

Experience :

IDENTITY & ADDRESS PROOF DETAILS (ATTACH COPY)

PARTICULARS NUMBER

PAN CARD

PASSPORT

DRIVING LICENSE

RATION CARD

VOTER ID CARD

DATE OF ISSUE DATE OF EXPIRY PLACE OF ISSUE

D D M M Y Y Y Y D D M M Y Y Y Y





5

LATEST

PHOTOGRAPH

WITH SIGNATURE

ACROSS

THE PHOTOGRAPH





Pin :City :

State :

Mobile : Ph. :



E-mail :


Designation :


Bank Name :


Address :

Pin Code :






DATE :

PLACE :

Stamp & Sign :


Qualification :

Experience :


PARTICULARS NUMBER

PAN CARD

PASSPORT

DRIVING LICENSE

RATION CARD

VOTER ID CARD







6

LATEST

PHOTOGRAPH

WITH SIGNATURE

ACROSS

THE PHOTOGRAPH





Pin :City :

State :

Mobile : Ph. :



E-mail :


Designation :


Bank Name :


Address :

Pin Code :






DATE :

PLACE :

Stamp & Sign :


Qualification :

Experience :


PARTICULARS NUMBER

PAN CARD

PASSPORT

DRIVING LICENSE

RATION CARD

VOTER ID CARD







7

LATEST

PHOTOGRAPH

WITH SIGNATURE

ACROSS

THE PHOTOGRAPH





Pin :City :

State :

Mobile : Ph. :



E-mail :


Designation :


Bank Name :


Address :

Pin Code :






DATE :

PLACE :

Stamp & Sign :


Qualification :

Experience :


PARTICULARS NUMBER

PAN CARD

PASSPORT

DRIVING LICENSE

RATION CARD

VOTER ID CARD







8

smc

APPLICATION FORM FOR OPENING A DEMAT ACCOUNT

Date :DP ID : Client Id :

To be filled by the Applicant(s) in CAPITAL LETTERS (English only)I/ We request to open a Depository Account in my / our name as per the following details.

SOLE / FIRST HOLDERS PERSONAL DETAILS

UnmarriedMarital Status : Sex : Male Female Married Date of Incorporation /Birth : D D M M Y Y Y Y

Name Mr. / Mrs. / Ms. : F I R S T M I D D L E L A S T

E-mail :

Nationality :

PAN NO. :

Indian Others (Please Specify)

Mobile : Fax : Phone :

(5) (1) (1)

Name of Company/Firm:

Name of Father / Husband : Mr. :

Pin :

City :

State : Country :

Registered Office / Permanent Address (If Different) :

Date of Registration :



D

D

D

D

D

D

M

M

M

M

M

M

Y

Y

Y

Y

Y

Y

Y

Y

Y

Y

Y

Y

SEBI Registration No. :

ROC Registration No. :

RBI Registration No. :

Pin :

City :

State : Country :

Correspondence Adderss :


Registration Kit for Depository ServicesSMC GLOBAL SECURITIES LTD.

Regd. Office : 11/6B, Shanti Chamber, Pusa Road, New Delhi-110005

Tel : 91-11-30111000 Fax : 91-11-25754365 E-mail at [email protected]

SEBI REG. NO. : IN-DP-CDSL-106-2000

TYPE OF ACCOUNT (Please Tick whichever is applicable)

TrustBody Corporate CM

Others (Please Specify)

STATUS SUB-STATUS

To be filled by DP

9

JOINT HOLDER'S DETAILS (if any)

UnmarriedMarital Status : Married Date of Birth : D D M M Y Y Y Y 2nd Holder's Name Mr./Mrs./Ms. : F I R S T M I D D L E L A S T

Name of Father/Husband : Mr. :

E-mail :

Ph.(with STD Code) :

Ph.(with STD Code) :

Mobile :

Mobile :

Fax :

Fax :

PAN NO. :

PAN NO. :

Permanent Address :

City :



3rd Holder's Name Mr./Mrs./Ms. : F I R S T M I D D L E L A S T

E-mail :

Name of Father / Husband : Mr. :

Account statement requirement for DP YearlyHalf YearlyQuarterly Weekly MonthlyFortnightly Daily

Do you wish to receive dividend / interest directly into your Bank A/c through ECS ? NoYes

SMS Alert Facility

easi

NoMobile No. +91...................................................................................Refer to Terms & Conditions given as Annexure-AIf Yes, please contact your DP for details[Facility through CDSL’s website www.cdsl.com wherein a BO can view his ISIN balaces, transactions and value of the portfolio online.]

No

I / We authorise DP to credit my / our account without any instruction from me / us. NoYes

Permanent Address :

City :


Occupation :

Occupation :

Service {

Service {

Central Govt.

Central Govt.

State Govt.

State Govt.

Public/Private Sector

Public/Private Sector

NGO

NGO

Statutory Body}

Statutory Body}

Nature of Business (Products &Services Provided) :

Professional

Professional

Business

Business

Student

Student

Retired

Retired

House Wife

House Wife

Nature of Business (Products &Services Provided) :

Yes

Yes

UnmarriedMarital Status : Married

(6) (2) (2)

Nationality :

Nationality :

Indian

Indian

Others

Others

Others

Others

(Please Specify)

(Please Specify)

(Please Specify)

(Please Specify)

BANK ACCOUNT DETAILS

NOTE : Ment ion Company' s/Trust's/Firm's Bank Account details incase of Corporate Body/Trust/Firm respectively.

(Through which transactions will generally be routed)

Bank Name :


Address :

Pin Code :




10

FIRST / SOLE AUTHORISED SIGNATORY SECOND AUTHORISED SIGNATORY THIRD AUTHORISED SIGNATORY

*In case of Firms, Association of Persons(AOP), Partnership Firm, Unreregistered Trust, etc., Although the account is opened in the name

of the natural persons, the name of the Firm, Association of Persons(AOP), Partnership Firm, Unregistered Trust, etc.,should be mentioned

above.

DECLARATION

I / We have read the DP-BO agreement(DP-BO agreement for BSE Clearing Member Accounts) including the schedules thereto and the terms and conditions and agree to abide by and be bound by the same and by the Bye Laws as are in force from time to time. I / We declare that the particulars given by me / us above are true and to the best of my / our knowledge as on the date of making this application. I / We further agree that any false / misleading information given by me / us or supression of any material information will render my / our account liable for termination & suitable action.

Currency: (Please Specify)

FOR OCBs / OTHERS (as may be applicable)

PHOTOGRAPH

OF

3RD AUTHORISED

SIGNATORY WITH SIGNATURE

OF

THE 3RD AUTHORISED

SIGNATORY ACROSS

THE PHOTOGRAPH

PHOTOGRAPH

OF

2ND AUTHORISED


OF

THE 2ND AUTHORISED

SIGNATORY ACROSS

THE PHOTOGRAPH

PHOTOGRAPH

OF

SOLE/1ST AUTHORISED


OF

THE SOLE/1ST AUTHORISED

SIGNATORY ACROSS

THE PHOTOGRAPH

Signature : Signature of First Holder/ Authorised Signatory Signature of Second Holder/ Authorised Signatory

(7) (3)

Signature of Third Holder/ Authorised Signatory

(3)

Designation :

Name :

Trade Name* :

Clearing Member ID :

Name of CC / CH :

Name of the Exchange :

CLEARING MEMBER DETAILS (To be filled up by Clearing Members only)

E-mail :


City : Indian / Correspondence Address :

State : Country :

Pin :City :

Foreign Address :

RBI Reference No. : RBI Approval Date :

Trading ID :


11

ACITIVITY General Scheme (Default) Scheme-1, One Time AMC Scheme - 2, No AMC

Account Opening

Dematerialisation

Rematerialisation

Transaction Fee

Buy

Sell

Custody Charges

Creation of Pledge

Close of Pledge

Invocation on Pledge

Annual Maintenance Charges

Refundable Security Deposit

Free

Rs. 2 per certificate*(Rs 10 for 1st Cert.)

Rs. 15 per certificate*

Nil

0.02% subject to Min. Rs. 12 Max.

Rs. 25 (Default) or Rs 15 Per Debit Instrn.

Nil

Rs. 40

Rs. 25

Rs. 25

Rs. 250 (Individaul)

Rs.1000 (Corporate)

Nil

Free

Rs. 2 Per Certificate*(Rs10 for 1st Cert.)

Rs. 15 per certificate

Nil

0.02% subject to Min. Rs. 12 Max


Nil

Rs. 40

Rs. 25

Rs. 25

Rs. 1000/- (Individual)

Rs. 2500/- (Corporate)

Nil

Free

Rs. 2 Per Certificate *(Rs10 for 1st Cert.)

Rs. 15 per certificate

Nil

0.02% subject to Min. Rs. 12 Max


Nil

Rs. 40

Rs. 25

Rs. 25

Nil

Rs. 2500/- (Individual)

Rs. 7500/- (Corporate)

S.No.

1.

2.

3.

4.

A

B

5.

6.

7.

8.

9.

10.

SCHEDULE OF DEMAT CHARGES Beneficiary Account - CDSL

Signature of First Holder

(8)

Signature of Second Holder

(4)

Signature of Third Holder

(4)

1. Out of Pocket Expenses

* Dematerialisation of shares mailing charges Rs. 20/- per mail (local)

* Dematerialisation of shares mailing charges Rs. 40/- per mail (out station)

* Delivery instruction through fax will be charged Rs 5 per instruction extra

2. Rejection charges on failure of deliver Rs. 20/- per instruction.

3. Modification of Client Master Rs. 25/- per instance.Rs 25 for additional Client master

4. Delivery instruction accepted within 24 hours of execution date will be at clients sole risks

5. For weekly and fortnightly statement charges extra Rs. 5/- per page Postage / Courier Charges will be extra

6. Taxes and other govt. levies will be charged extra as applicable for time to time

7. AMC will be charged in advance, and not refurndable even if Account is closed.

8. The Client is required to pay Rs 400(for individual) and Rs 1500(for Corporate) upfront that will be adjusted towards depository service charges(Charge

Under General Scheme. Cheque or DD should be in the name of "SMC Global Securities Ltd.”

9. Furnish ECS Debit Mandate form (in duplicate) is compulsory for all clients.

10. In case of any upward revision in schedule of charges, 30 days notice would be given by publishing in newspaper/post shall treated as sufficient notice

11. In case of non payment of bill/dues within 15days of due date, the depository services are liable to be discontinued within a period of 30 days from the date of

demand. The renewal charges for resuming the services will be Rs. 100/. An interest @18% P.A. will be charged on the amount remain outstanding or unpaid.

12. Any services not mentioned above will charged extra.

13. Security Deposit will be paid at the time of opening the Account and refundable at the time of closing the Account. However, AMC under General Scheme will be charged if the account is closed within one year.

For SMC GLOBAL SECURITIES LTD. Authorised Signatories

12

from time to time, unless notified by the Beneficial Owner.

Depository not liable for claims against Beneficial Owner

5. CDSL shall not be liable to the Beneficial Owner in any manner towards losses, liabilities and/or expenses arising from the claims of third parties or for any fees, charges, taxes, duties, levies or penalties levied, imposed or demanded by any Central, State, statutory or revenue authority in respect of securities credited to the Beneficial Owner's account.

Authorised Representative

6. Where the Beneficial Owner is a body corporate or a legal entity, it shall, simultaneously with the execution of the Agreement furnish to the Participant, a list of officials authorized by it, who shall represent and interact on its behalf with the Participant. Any change in such list including additions, deletions or alterations thereto shall be forthwith communicated to the Participant.

Closure of Account

7. The Beneficial Owner, may, at any time terminate this Agreement by calling upon the Participant to close his/its account with the Participant in the manner and on the terms and conditions set out in the Bye Laws and the procedure laid down in the Operating Instructions. In the event of termination of this Agreement the Beneficial Owner shall either get the securities transferred to some other account or get the same rematerialised.

Stamp Duty

8. Any stamp duty (including interest or penalty levied thereon) payable on the Agreement and/or on any deed, document or writing executed in pursuance hereof between the parties hereto shall be borne and paid by the Beneficial Owner.

Force Majeure

9. Notwithstanding anything contained herein or in the Bye Laws, neither party hereto shall be liable to indemnify or compensate the other for any breach, non-performance or delay in performance of any obligations under the Agreement or for any harm, loss, damage or injury caused to the other due to causes reasonably beyond its control including but not limited to tide, storm, cyclone, flood, lightning, earthquake, fire, blast, explosion or any other act of God, war, rebellion, revolution, insurrection, embargo or sanction, blockade, riot, civil commotion, labour action or unrest including strike, lock-out or boycott, interruption or failure of any utility service, enemy action, criminal conspiracy, act of terrorism or vandalism, sabotage, or intrusion, or any other irresistible force or compulsion.

Service of Notice

10. Any notice or communication required to be given under the Agreement shall not be binding unless the same is in writing and shall have been served by delivering the same at the address set out hereinabove against a written acknowledgement of receipt thereof or by sending the same by pre-paid registered post at the aforesaid address or transmitting the same by facsimile transmission, electronic mail or electronic data transfer at number or address that shall have been previously specified by the party to be notified. Notice given by personal delivery shall be deemed to be given at the time of delivery. Notice given by post in accordance with this clause shall be deemed to be given at the commencement of business of the recipient of the notice on the third working day next following its posing. Notice sent by facsimile transmission, electronic mail or electronic data transfer shall be deemed to be given at the time of its actual transmission.

Arbitration

11. The parties hereto shall, in respect of all disputes and differences that may arise between them, abide by the provisions relating to arbitration and conciliation specified under the Bye Laws.

Jurisdiction

12. The parties hereto agree to submit to the exclusive jurisdiction of the courts in New Delhi.

Governing Law

13. The Agreement shall be governed by and construed in accordance with the laws in force in India.

Agreement Between A Participant And A Person Seeking To Open A Beneficial Owner's Account

This Agreement made and entered into between SMC Global Securities Limited, having its corporate office at 11/6B, Shanti Chamber, Pusa Road, New Delhi-110005, hereinafter called “the Participant” of the One Part ; AND __________________________________________________

____________________________, (description of the legal entity) having his/ its office/ registered office/ address at______________________________________________________________,

____________________________________________________________________________,

hereinafter called “the Beneficial Owner” of the Other Part.

WHEREAS the Beneficial Owner is desirous of opening a beneficial owner's account with the Participant and the Participant has agreed to open an account in the name of the Beneficial Owner and render services to the Beneficial Owner as a participant, on the terms and conditions recorded herein below:

NOW THIS AGREEMENT WITNESSETH AND IT IS HEREBY AGREED BY AND BETWEEN THE PARTIES HERETO AS FOLLOWS :

General Clause

1. The parties hereto agree to abide by the provisions of the Depositories Act, 1996, SEBI (Depositories and Participants) Regulations, 1996, Bye Laws and Operating Instructions issued by CDSL from time to time in the same manner and to the same extent as if the same were set out herein and formed part of this Agreement.

Fees, Charges and deposits

2. The Participant shall be entitled to change or revise the fees, charges or deposits from time to time provided however that no increase therein shall be effected by the Participant unless the Participant shall have given at least one month's notice in writing to the Beneficial Owner in that behalf. In case the Beneficial Owner committing a default in the payment of any such amount payable to the Participant on their respective due dates or within fifteen days of the same being demanded (where no such due date is specified), the Participant shall be entitled to charge interest on the amount remaining outstanding or unpaid 18 % per annum or part thereof. On such continued default, the Participant after giving two days notice to the Beneficial Owner shall have a right to stop processing of instructions of Beneficial Owners till such time he makes the payment along with interest if any.

Statement of Account

3.1 The Participant shall furnish to the Beneficial Owner a statement of his/its account at the end of every month if there has been even a single entry or transaction during that month, and in any event once at the end of each quarter. The statement of accounts to be provided to the Beneficial Owner under this Agreement shall be in the form specified in Operating Instructions or as communicated by CDSL from time to time. The Participant shall furnish such statements at such shorter periods as may be required by the Beneficial Owner on payment of such charges by the Beneficial Owner as may be specified by the Participant.

3.2 It is agreed that if a Participant is providing the services of issuing the statement of accounts in an electronic mode and if the Beneficial Owner is desirous of availing such services from the Participant, then the Participant will furnish to the Beneficial Owner the statement of accounts under its digital signature, as governed under the Information Technology Act, 2000. Provided however that in the event of the Beneficial Owner requiring a physical copy of the statement of accounts, despite receiving the same in the electronic mode, then irrespective of having forwarded the same via electronic mode, the Participant shall be obliged to provide a physical copy thereof to the BO.

3.3 It is agreed and understood between the parties that if the Participant does not have the facility of providing the statement of account in the electronic mode, then the Participant shall be obliged to forward the statement of account only in physical form.

Beneficial Owner shall intimate change of particulars

4. The Participant shall not be liable or responsible for any loss that may be caused to the Beneficial Owner by reason of his/its failure to intimate change in the particulars furnished to the Participant

Name of 1st Holder : _______________________________________________________________________

Signature

Name of 2nd Holder : ______________________________________________________________________

Signature

Name of 3rd Holder : _______________________________________________________________________

Signature

For SMC GLOBAL SECURITIES LTD.

Authorised Signatories

Name and Address of 1st Witness : __________________________________________________________

_________________________________________________________________________________________

_________________________________________________________________________________________

Signature

Name and Address of 2nd Witness : __________________________________________________________

_________________________________________________________________________________________

_________________________________________________________________________________________

Signature

Place :

Date :

IN WITNESS WHEREOF the parties hereto have hereunto set and subscribed their respective hands/seals to this Agreement in duplicate on the day, month, year and place first hereinabove mentioned and a copy of each shall be retained by each of the parties hereto.

(9)

(5)

(5)

Date :

Place : Kolkata

13

smcMONEYWISE. BE WISE .

I/We 1. .....................................................................................................................................................................................................................................................................................................................................................................

residing at ...............................................................................................................................................................................................................................................................................................................................................................

execute this UNDERTAKING CUM INDEMNITY in favour of SMC GLOBAL SECURITIES LTD. (a company incorporated and registered under the Companies Act, 1956) and having its Corporate Office at 17, Netaji Subhash Marg, Darya Ganj, New Delhi - 110002 hereinafter called "the DP" (which expression shall unless it be repugnant to the context or meaning thereof mean and include its successors in title) as follows :

WHEREAS I/We maintain a Beneficial Owner Account (s) ("the said Account") mentioned above, with the DP at its ..................................................................................................................................................................................................

main/branch office, located at ...................................................................................................................................................................................................................................................................................................................................

As per the instructions for operation of the said Accounts, the same is allowed to be operated by us or the persons authorised, in that behalf (hereinafter referred to as "Authorised Person/s").

To,

SMC GLOBAL SECURITIES LIMITED11/6B, Shanti Chamber, Pusa RoadNew Delhi-110005

S.No. BO Ids Names of Holders (s)

1st Holder

2nd Holder

3rd Holder

On Rs. 100/- Stamp Paper

1.

AND WHEREAS in the day to day business, I am/we are required to give urgent instructions to the DP for operation of the said/account :WHEREAS the DP has agreed to accept, the original instruction slip, a fax submission thereof signed by the authorised persons to operate the said account under their signatures, subject to the indemnity herein offered by me/us to the DP on the terms and conditions herein mentioned.NOW IN CONSIDERATION OF THE ABOVE, I/We hereby irrevocably agree, confirm and undertake to the DP as follows :1. I/We shall transmit the Fax instructions only to the fax number informed/provided to us by the DP.2. The Fax submission shall be signed by the Authorised Person/s mentioned in the List of Authorised

Signatories submitted by me/us in the account opening form on behalf of me/us and their signatures shall be in the same manner and way as has been informed to the DP by me/us and the DP is hereby requested and authorised, (but is not obliged to) rely upon and act, in accordance with such Fax Submission which is signed or bonafide believed by the DP to have been signed, by the Authorised Person/s.

3. The DP is requested by me/us and shall be entitled to treat any fax Submissions as fully and dully authorised by and binding upon me/us and further be entitled (but not bound) to take any steps relying upon the same, believing the Fax Submission, in good faith as appropriate, regardless, of the amount of money involved and notwithstanding any error in transmission or reception of such Fax Submission or any misunderstanding or ambiguity or lack of clarity in the terms of such fax Submission.

4. I/We shall upon making any Telefax Submission hereunder, deliver to the DP without any delay within two working days, the original hard copy of the Fax Submission (the Hardcopy) signed by the Authorised Person's as aforesaid. Each Hardcopy shall bear the following words on the top of the Instruction slip -

"This is a Hardcopy Each of Fax Submission to you, transmitted on .........................................................

............................................................. day of ................................... month, 200 ...........

5. The DP may, but shall not be obliged to, await receipt of the Hard copy prior to taking any action in connection with the Fax Submission and shall not be obliged to follow-up with me/us for the originals. Further the storage of a photocopy of the Fax transmission sent by me/us shall be conclusive evidence of instruction to the DP for having acted on such instructions and I/We hereby agree and acknowledge the same".

6. I/We hereby agree that in case the DP does not receive the hard copy of the instruction within 2 working days, the DP may discontinue the said facility. In such cases the DP will do so with immediate effect after informing me orally / in writing / by fax. I/We undertake that I/We shall not hold the DP liable for any loss to me/us in case the DP does not act on fax instruction received by the DP in such a case.

7. The DP shall not be required to confirm(whether orally, in writing or otherwise) any fax submission or (verify the Identify of the Authorised person/s or his/her/their signature/s making or giving the fax submission or purporting to do so.

8. The DP shall be under no duty to set and/or adopt any procedure for the purpose of such confirmation or verification and if at all there is any, the DP shall not be obliged to strictly adopt or comply with the same in any or every instance.

9. The DP shall not be liable for any losses or damages which I/We may suffer as a consequence of the DP acting in accordance with or in reliance upon, any Fax Submission or otherwise pursuant to the authority

conferred herein, upon the DP.10. I/We shall indemnify the DP and CDSL and keep them indemnified and save harmless, at all times against

any and all claims, losses, damages, costs liabilities and expenses incurred, suffered or paid or incurred by the DP or required to be incurred, suffered or paid by the Dp and also against all demands, actions, suit proceedings made, filed / instituted against the DP, in connection with or arising out of or in relation to or as a consequence of : i. The DP acting pursuant to, in accordance with or relaying upon, any Fax submission or otherwise

pursuant to the request and authority conferred herein and/or;ii. The DP acting pursuant to in accordance with or relying upon any Fax Submission received by the

DP which it believes in good faith to be such a fax Submission; and/or;iii. Any unauthorised or fraudulent Fax Submission to the DP. PROVIDED that this indemnity shall not

be available to the DP, if the liabilities for which the DP seeks indemnification hereunder, arises directly and completely from its own negligence or willful default.

iv. The DP not having acted on the Fax submission due to non-receipt of the transmission or receipt of incomplete or partly / fully unreadable transmission.

v. The DP not having acted on any Fax submission sent by me/us on a number other than the number mentioned by the DP for the purpose of fax transmission.

11. The DP shall not be under any obligation at any time to maintain any facility for the receipt of any Fax Submission or to ensure the continued operations or availability of any such facsimile facilities or equipment, and/Iwe shall not hold the DP liable for any loss consequent to non-availabilty of the said facility.

12. I/We acknowledge and confirm that I am/we are aware that by the very nature of telecommunications services, the Fax transmissions may not be received properly and may be clearly legible. I/We agree to assume and bear all the risks involved in respect of such errors and misunderstanding and the DP shall not be responsible in any manner for the same or breach of confidentially thereto and shall also not be liable for any claims, loss, damage, cost or expense and liability arising therefrom :

13. This indemnity is without prejudice to the DP's other rights, privileges, powers, and remedies in law and the DP may delay enforcing its rights without at any time losing them and any waiver of a right by the Dp hereunder or available to it by law, shall not be deemed to be a waiver of any other rights or of the same right at another time.

14. The DP may stop/terminate this facility given to me/us by giving seven day prior written notice to me/us. However, any such termination shall not affect anything done or any rights or liabilities accrued prior to the termination and all the above indemnities given by me/us to the DP hereunder shall survive any such termination. However in case of termination as mentioned in point 6 above, no such notice need to be given by the DP.The Provisions relating to arbitration contained in the agreement executed by us in favour of the DP shall be applicable to any dispute or difference that may arise in respect of such fax transmission including all disputes with regard to the receipt of the fax Transmission by the DP.I/We specifically agree and confirm that regardless of the place from which the fax transmission in question may have been transmitted to the DP any matter or issue arising hereunder shall be governed by and construed exclusively in accordance with the Indian laws and shall be subject to the exclusive jurisdiction of the Courts of Mumbai (India) alone.

Name of 1st Holder : _______________________________________________________________________

Signature

Name of 2nd Holder : ______________________________________________________________________

Signature

Name of 3rd Holder : _______________________________________________________________________

Signature

Name and Address of 1st Witness : __________________________________________________________

_________________________________________________________________________________________

_________________________________________________________________________________________

Signature

Name and Address of 2nd Witness : __________________________________________________________

_________________________________________________________________________________________

_________________________________________________________________________________________

Signature

Place : Date :

(10)

(6)

(6)

UNDERTAKING CUM INDEMNITY - IN RESPECT OF FACSIMILE INSTRUCTION FOR OPERATION OF DEPOSITORY ACCOUNT (voluntary)

15

Signatures Sole / First Holder Second holder Third Holder

Place : _______________ Date : _______________

Terms And Conditions-cum-Registration / Modification Form for receiving SMS Alerts from CDSLDefinitions:In these Terms and Conditions the terms shall have following meaning unless indicated otherwise:

1. "Depository" means Central Depository Services (India) Limited a company incorporated in India under the Companies Act 1956 and having its registered office at 17th Floor, P.J. Towers, Dalal Street, Fort, Mumbai 400001 and all its branch offices and includes its successors and assigns.

2. DP' means Depository Participant of CDSL. The term covers all types of DPs who are allowed to open demat accounts for investors.3. BO' means an entity that has opened a demat account with the depository. The term covers all types of demat accounts, which can be opened with a depository as specified by the depository

from time to time.4. SMS means “Short Messaging Service”5. “Alerts” means a customized SMS sent to the BO over the said mobile phone number.6. “Service Provider” means a cellular service provider(s) with whom the depository has entered / will be entering into an arrangement for providing the SMS alerts to the BO.7. “Service” means the service of providing SMS alerts to the BO on best effort basis as per these terms and conditions.

Availability:1. The service will be provided to the BO at his / her request and at the discretion of the depository. The service will be available to those accountholders who have provided their mobile numbers

to the depository through their DP. The services may be discontinued for a specific period / indefinite period, with or without issuing any prior notice for the purpose of security reasons or system maintenance or for such other reasons as may be warranted. The depository may also discontinue the service at any time without giving prior notice for any reason whatsoever.

2. The service is currently available to the BOs who are residing in India.3. The alerts will be provided to the BOs only if they remain within the range of the service provider's service area or within the range forming part of the roaming network of the service provider.4. In case of joint accounts and non-individual accounts the service will be available, only to one mobile number i.e. to the mobile number as submitted at the time of registration / modification.5. The BO is responsible for promptly intimating to the depository in the prescribed manner any change in mobile number, or loss of handset, on which the BO wants to receive the alerts from the

depository. In case of change in mobile number not intimated to the depository, the SMS alerts will continue to be sent to the last registered mobile phone number. The BO agrees to indemnify the depository for any loss or damage suffered by it on account of SMS alerts sent on such mobile number.

Receiving Alerts:1. The depository shall send the alerts to the mobile phone number provided by the BO while registering for the service or to any such number replaced and informed by the BO from time to time.

Upon such registration / change, the depository shall make every effort to update the change in mobile number within a reasonable period of time. The depository shall not be responsible for any event of delay or loss of message in this regard.

2. The BO acknowledges that the alerts will be received only if the mobile phone is in 'ON' and in a mode to receive the SMS. If the mobile phone is in 'Off'' mode i.e. unable to receive the alerts then the BO may not get / get after delay any alerts sent during such period.

3. The BO also acknowledges that the readability, accuracy and timeliness of providing the service depend on many factors including the infrastructure, connectivity of the service provider. The depository shall not be responsible for any non-delivery, delayed delivery or distortion of the alert in any way whatsoever.

4. The BO further acknowledges that the service provided to him is an additional facility provided for his convenience and is susceptible to error, omission and/ or inaccuracy. In case the BO observes any error in the information provided in the alert, the BO shall inform the depository and/ or the DP immediately in writing and the depository will make best possible efforts to rectify the error as early as possible. The BO shall not hold the depository liable for any loss, damages, etc. that may be incurred/ suffered by the BO on account of opting to avail SMS alerts facility.

5. The BO authorizes the depository to send any message such as promotional, greeting or any other message that the depository may consider appropriate, to the BO. The BO agrees to an ongoing confirmation for use of name, email address and mobile number for marketing offers between CDSL and any other entity.

6. The BO agrees to inform the depository and DP in writing of any unauthorized debit to his BO account/ unauthorized transfer of securities from his BO account, immediately, which may come to his knowledge on receiving SMS alerts. The BO may send an email to CDSL at [email protected]. The BO is advised not to inform the service provider about any such unauthorized debit to/ transfer of securities from his BO account by sending a SMS back to the service provider as there is no reverse communication between the service provider and the depository.

7. The information sent as an alert on the mobile phone number shall be deemed to have been received by the BO and the depository shall not be under any obligation to confirm the authenticity of the person(s) receiving the alert.

8. The depository will make best efforts to provide the service. The BO cannot hold the depository liable for non-availability of the service in any manner whatsoever. 9. If the BO finds that the information such as mobile number etc., has been changed with out proper authorization, the BO should immediately inform the DP in writing.

Fees: Depository reserves the right to charge such fees from time to time as it deems fit for providing this service to the BO.Disclaimer:The depository shall make reasonable efforts to ensure that the BO's personal information is kept confidential. The depository does not warranty the confidentiality or security of the SMS alerts transmitted through a service provider. Further, the depository makes no warranty or representation of any kind in relation to the system and the network or their function or their performance or for any loss or damage whenever and howsoever suffered or incurred by the BO or by any person resulting from or in connection with availing of SMS alerts facility. The Depository gives no warranty with respect to the quality of the service provided by the service provider. The Depository will not be liable for any unauthorized use or access to the information and/ or SMS alert sent on the mobile phone number of the BO or for fraudulent, duplicate or erroneous use/ misuse of such information by any third person.Liability and Indemnity:The Depository shall not be liable for any breach of confidentiality by the service provider or by any third person due to unauthorized access to the information meant for the BO. In consideration of the depository providing the service, the BO agrees to indemnify and keep safe, harmless and indemnified the depository and its officials from any damages, claims, demands, proceedings, loss, cost, charges and expenses whatsoever which a depository may at any time incur, sustain, suffer or be put to as a consequence of or arising out of interference with or misuse, improper or fraudulent use of the service by the BO.Amendments: The depository may amend the terms and conditions at any time with or without giving any prior notice to the BOs. Any such amendments shall be binding on the BOs who are already registered as user of this service.Governing Law and Jurisdiction:Providing the Service as outlined above shall be governed by the laws of India and will be subject to the exclusive jurisdiction of the courts in Mumbai. I/We wish to avail the SMS Alerts facility provided by the depository on my/our mobile number provided in the registration form subject to the terms and conditions mentioned below. I/ We consent to CDSL providing to the service provider such information pertaining to account/transactions in my/our account as is necessary for the purposes of generating SMS Alerts by service provider, to be sent to the said mobile number.I/We have read and understood the terms and conditions mentioned above and agree to abide by them and any amendments thereto made by the depository from time to time. I/ we further undertake to pay fee/ charges as may be levied by the depository from time to time.I / We further understand that the SMS alerts would be sent for a maximum four ISINs at a time. If more than four debits take place, the BOs would be required to take up the matter with their DP.I/We am/ are aware that mere acceptance of the registration form does not imply in any way that the request has been accepted by the depository for providing the service. I/We provide the following information for the purpose of REGISTRATION / MODIFICATION (Please cancel out what is not applicable).

(7) (7)(11)

Sole / First Holder's Name : ______________________________________________________________________________________________________________________________________

Second Holder's Name : ______________________________________________________________________________________________________________________________________

Third Holder's Name : ______________________________________________________________________________________________________________________________________

BOID

(Please write your 8 digit DPID) (Please write your 8 digit Client ID)

The mobile number is registered in the name of : ______________________________________________________________________________________________________________________

Email ID : _____________________________________________________________________________________________________________________________________________________ (Please write only ONE valid email ID on which communication; if any, is to be sent)

Mobile Number on which messages are to be sent (Please write only the mobile number without prefixing country code or zero)+91

Annexure-A

16

WHEREAS:

(i) SMC GLOBAL SECURITIES LTD. is a member of the

National Stock Exchange, (“the Exchange”) and is also

registered with the Securities & Exchange Board of India

(“SEBI”) as a stock broker with SEBI Registration No. INB

230771431 for Cash segment, INE 230771431 for Currency

Segment and INF 230771431 for Derivatives segment.

(ii) The client is desirous of investing/trading in those securities/

contracts /other instruments admitted to dealings on the

Exchange as defined in the Rules, Byelaws and Regulations

of the Exchange and circulars issued thereunder from time to

time.

(iii) The client has satisfied itself of the capacity of the stock

broker to deal in securities and/or deal in derivatives

contracts and wishes to execute its orders through the stock

broker and the client shall from time to time continue to

satisfy itself of such capability of the stock broker before

executing orders through the stock broker.

(iv) The stock broker has satisfied and shall continuously satisfy

itself about the genuineness and financial soundness of the

THIS AGREEMENT EXECUTED BETWEEN

provisions of the Companies Act, 1956 having its registered office at 11/6B, Shanti Chamber, New Delhi-110005 hereinafter

referred to as “the Member”, (which expression shall, unless it be repugnant to the context or meaning thereof, be deemed to

mean and include its successors) of the ONE PART;AND

M/s. ____________________________________________________________________________________________,

a partnership firm registered under the provisions of the Indian Partnership Act, 1932 having its address at _______________

________________________________________________________________________________________________

hereinafter referred to as “the Client”, (which expression shall, unless it be repugnant to the context or meaning thereof, be

deemed to mean and include his/her heirs, executors, administrators and legal representatives) of the OTHER PART;

OR

M/s_____________________________________________________________________________________________,

a company / body corporate incorporated under the provisions of the Companies Act, 1956 having its registered office at,

_________________________________________________________________________________________________

___________________________________________________________________________hereinafter referred to as

“the Client”, (which expression shall, unless it be repugnant to the context or meaning thereof, be deemed to mean and

include the sole proprietor's heirs, executors, administrators and legal representatives) of the OTHER PART;

M/s. SMC GLOBAL SECURITIES LTD., a company incorporated under the

MEMBER-CLIENT AGREEMENT (NSE)

(12)

client and investment objectives relevant to the services to

be provided;

(v) The stock broker has taken steps and shall take steps to

make the client aware of the precise nature of the Stock

broker's liability for business to be conducted, including any

limitations, the liability and the capacity in which the stock

broker acts; and

(vi) The stock broker and the client agree to be bound by all the

Rules, Byelaws and Regulations of the Exchange and

circulars issued thereunder and Rules and Regulations of

SEBI and relevant notifications of Government authorities as

may be in force from time to time.

Now, therefore, in consideration of the mutual understanding as

set forth in this agreement, the parties hereto have agreed to the

following terms and conditions:

1. The client agrees to immediately notify the stock broker in

writing if there is any change in the information in the 'client

registration form' provided by the client to the stock broker at

the time of opening of the account or at any time thereafter.

2. The stock broker declares that it has brought the contents of

the risk disclosure document to the notice of client and made

him aware of the significance of the said document. The

client agrees that:

(i) He has read and understood the risks involved in

trading on a stock exchange.

(ii) He shall be wholly responsible for all his investment

decisions and trades.

(iii) The failure of the client to understand the risk

involved shall not render a contract as void or voidable

and the client shall be and shall continue to be

responsible for all the risks and consequences for

entering into trades in the segments in which the client

chose to trade.

(iv) He is liable to pay applicable initial margins,

withholding margins, special margins or such other

margins as are considered necessary by the stock

broker or the Exchange or as may be directed by SEBI

from time to time as applicable to the segment(s) in

which the client trades. The stock broker is permitted in

its sole and absolute discretion to collect additional

margins (even though not required by the Exchange,

Clearing House/Clearing Corporation or SEBI) and the

client shall be obliged to pay such margins within the

stipulated time.

(v) Payment of margins by the client does not necessarily

imply complete satisfaction of all dues. Inspite of

consistently having paid margins, the client may, on the

closing of its trade, be obliged to pay (or entitled to

receive) such further sums as the contract may

dictate/require.

3. The Client agrees to pay to the stock broker brokerage and

statutory levies as are prevailing from time to time and as

they apply to the Client's account, transactions and to the

services that stock broker renders to the Client. The stock

broker agrees that it shall not charge brokerage more than

the maximum brokerage permissible as per the rules,

regulations and bye-laws of the relevant stock

exchange/SEBI.

4. The client agrees to abide by the exposure limits, if any, set

by the stock broker or by the Exchange or Clearing

Corporation or SEBI from time to time.

5. Without prejudice to the stock broker's other rights (including

the right to refer a matter to arbitration), the stock broker shall

be entitled to liquidate/close out all or any of the client's

positions for non-payment of margins or other amounts,

outstanding debts, etc. and adjust the proceeds of such

liquidation / close out, if any, against the client's liabilities/

obligations. Any and all losses and financial charges on

account of such liquidation / closing-out shall be charged to

and borne by the client.

6. The stock broker agrees that the money/securities deposited

by the client shall be kept in a separate account, distinct from

his/its own account or account of any other client and shall not

be used by the stock broker for himself/itself or for any other

client or for any purpose other than the purposes mentioned in

SEBI Rules and Regulations circulars / guidelines / Exchanges

Rules / Regulations / Byelaws and circulars.

7. The client agrees to immediately furnish information to the

stock broker in writing, if any winding up petition or

insolvency petition has been filed or any winding up or

insolvency order or decree or award is passed against him or

if any litigation which may have material bearing on his

capacity has been filed against him.

8. The stock broker agrees to inform the client and keep him

apprised about trading/settlement cycles, delivery/payment

(13) 17

schedules,any changes therein from time to time, and it shall

be the responsibility in turn of the client to comply with such

schedules/procedures of the relevant stock exchange.

9. In the event of death or insolvency of the client or his/its

otherwise becoming incapable of receiving and paying for or

delivering or transferring securities which the client has

ordered to be bought or sold, stock broker may close out the

transaction of the client and claim losses, if any, against the

estate of the client. The client or his successors, heirs and

assigns shall be entitled to any surplus which may result

there from.

10. The stock broker agrees that it shall co-operate in redressing

grievances of the client in respect of transactions routed

through it and in removing objections for bad delivery of

shares, rectification of bad delivery, etc. in respect of shares

and securities delivered/to be delivered or received/to be

received by the client.

11. The stock broker shall continue to be responsible for

replacing bad deliveries of the client in accordance with

applicable "Good & bad delivery norms" even after

termination of the agreement and shall be entitled to recover

any loss incurred by him in such connection from the client.

12. The stock broker shall ensure due protection to the client

regarding client's rights to dividends, rights or bonus shares,

etc. in respect of transactions routed through it and it shall not

do anything which is likely to harm the interest of the client with

whom and for whom it may have had transactions in securities.

13. The client and the stock broker agree to refer any claims

and/or disputes to arbitration as per the Rules, Byelaws and

Regulations of the Exchange and circulars issued

thereunder as may be in force from time to time.

14. The stock broker hereby agrees that he shall ensure faster

settlement of any arbitration proceedings arising out of the

transactions entered into between him and the client and that

he shall be liable to implement the arbitration awards made

in such proceedings.

15. Information about default in payment/delivery and related

aspects by a client shall be brought to the notice of the

relevant Stock Exchange(s). In casewheredefaultingclient is

a corporate entity/partnership/proprietary firm or any other

artificial legal entity, then the name(s) of director(s)/

promoter(s)/ Partner(s)/proprietor as the case may be, shall

also be communicated to the relevant Stock Exchange(s).

16. The stock broker and the client agree to reconcile their

accounts at the end of each quarter with reference to all the

settlements where payouts have been declared during the

quarter.

17. The stock broker and the client agree to abide by any award

passed by the Ombudsman under the SEBI (Ombudsman)

Regulations, 2003.

18. The stock broker and the client declare and agree that the

transactions executed on the Exchange are subject to Rules,

Byelaws and Regulations and circulars issued thereunder of

the Exchange and all parties to such trade shall have

submitted to the jurisdiction of such court as may be

specified by the Byelaws and Regulations of the Exchange

for the purpose of giving effect to the provisions of the Rules,

Byelaws and Regulations of the Exchange and the circulars

issued thereunder.

19. The instructions issued by an authorized representative, if

any, of the client shall be binding on the client in accordance

with the letter authorizing the said representative to deal on

behalf of the said client.

20. Where the Exchange cancels trade(s) suo motu all such

trades including the trade/s done on behalf of the client shall

ipso facto stand cancelled.

21. This agreement shall forthwith terminate; if the stock broker

for any reason ceases to be a member of the stock exchange

including cessation of membership by reason of the stock

broker's default, death, resignation or expulsion or if the

certificate issued by the Board is cancelled.

22. The stock broker and the client shall be entitled to terminate

this agreement without giving any reasons to the other party,

after giving notice in writing of not less than one month to the

other parties. Notwithstanding any such termination, all

rights, liabilities and obligations of the parties arising out of or

in respect of transactions entered into prior to the termination

of this agreement shall continue to subsist and vest in /be

binding on the respective parties or his / its respective heirs,

executors, administrators, legal representatives or

successors, as the case may be.

23. In addition to the specific rights set out in this Agreement, the

stock broker and the client shall be entitled to exercise any

other rights which the stock broker or the client may have under

the Rules, Bye-laws and Regulations of the Exchange and

circulars issued thereunder or Rules and Regulations of SEBI.

18

24. Words and expressions which are used in this Agreement,

but which are not defined herein shall, unless the context

otherwise requires, have the same meaning as assigned

thereto in the Rules, Byelaws and Regulations of the

Exchange and circulars issued thereunder.

25. The provisions of this agreement shall always be subject to

Government notifications, any rules, regulations, guidelines

and circulars issued by SEBI and Rules, Regulations and

Bye laws of the relevant stock exchange that may be in force

from time to time.

26. The stock broker hereby undertakes to maintain the details

of the client as mentioned in the client registration form or

any other information pertaining to the client in confidence

and that it shall not disclose the same to any person/

authority except as required under any law/regulatory

requirements Provided however that the stock broker may

so disclose information about its his client to any person or

authority with the express permission of the client.

JURISDICTION

All trades, transactions and contracts are subject to the rules and

regulations of the exchange and depository and shall be deemed

to be and shall take effect as wholly made, entered into and be

performed in the city of Delhi and the parties to such trade shall be

deemed to have submitted to the jurisdiction of the Courts in Delhi

for the purpose of giving effect to the provisions of the Rules and

regulations of the exchange and the bye-laws and business rules

of the depository.

This agreement can be altered, amended and /or modified by the

parties mutually in writing without derogating from the contents of

this Agreement. Provided however, if the rights and obligations of

the parties hereto are altered by virtue of change in Rules and

regulations of SEBI or Bye-laws, Rules and Regulations of the

relevant stock Exchange, such changes shall be deemed to have

been incorporated herein in modification of the rights and

obligations of the parties mentioned in this agreement.

Name and address of 2nd witness :

Name and address of 1st witness :

Signature of 1st witness

Signature of 2nd witness

Name of Client : ___________________________________

Signature of Client :

Place :Date :

Name/Trade Name ofStock Broker : SMC GLOBAL SECURITIES LTD.

Signature of Stock Broker :

Date :Place : Kolkata

(14)

For SMC Global Securities Ltd.

Authorised Signatory

IN WITNESS WHEREOF, the parties hereto have set their hands and signatures on the dates mentioned against their respective signatures

WHEREAS:

(i) SMC GLOBAL SECURITIES LTD. is a member of the

Bombay Stock Exchange, (“the Exchange”) and also

registered with Securities & Exchange Board of India

(“SEBI”) as a stock broker with SEBI Registration No. INB

011343937 for Cash segment, INE 011343937 for Currency

Segment and INF 011343937 for Derivatives segment.

(ii) The client is desirous of investing/trading in those securities/

contracts /other instruments admitted to dealings on the

Exchange as defined in the Rules, Byelaws and Regulations

of the Exchange and circulars issued thereunder from time to

time.

(iii) The client has satisfied itself of the capacity of the stock

broker to deal in securities and/or deal in derivatives

contracts and wishes to execute its orders through the stock

broker and the client shall from time to time continue to

satisfy itself of such capability of the stock broker before

executing orders through the stock broker.

(iv) The stock broker has satisfied and shall continuously satisfy

itself about the genuineness and financial soundness of the

MEMBER-CLIENT AGREEMENT (BSE)

THIS AGREEMENT EXECUTED BETWEEN

provisions of the Companies Act, 1956 having its registered office at 11/6B, Shanti Chamber, New Delhi-110005 hereinafter

referred to as “the Member”, (which expression shall, unless it be repugnant to the context or meaning thereof, be deemed to

mean and include its successors) of the ONE PART;AND

M/s. ____________________________________________________________________________________________,

a partnership firm registered under the provisions of the Indian Partnership Act, 1932 having its address at _______________

________________________________________________________________________________________________

hereinafter referred to as “the Client”, (which expression shall, unless it be repugnant to the context or meaning thereof, be

deemed to mean and include his/her heirs, executors, administrators and legal representatives) of the OTHER PART;

OR

M/s_____________________________________________________________________________________________,

a company / body corporate incorporated under the provisions of the Companies Act, 1956 having its registered office at,

________________________________________________________________________________________________

____________________________________________________________________________hereinafter referred to as

“the Client”, (which expression shall, unless it be repugnant to the context or meaning thereof, be deemed to mean and

include the sole proprietor's heirs, executors, administrators and legal representatives) of the OTHER PART;

M/s. SMC GLOBAL SECURITIES LTD., a company incorporated under the

(15)

client and investment objectives relevant to the services to

be provided;

(v) The stock broker has taken steps and shall take steps to

make the client aware of the precise nature of the Stock

broker's liability for business to be conducted, including any

limitations, the liability and the capacity in which the stock

broker acts; and

(vi) The stock broker and the client agree to be bound by all the

Rules, Byelaws and Regulations of the Exchange and

circulars issued thereunder and Rules and Regulations of

SEBI and relevant notifications of Government authorities as

may be in force from time to time.

Now, therefore, in consideration of the mutual understanding as

set forth in this agreement, the parties hereto have agreed to the

following terms and conditions:

1. The clien

client registration form · 4) photocopy of pan card 5) photocopy of mapin card for address proof :...

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